Christopher D. Warren
Christopher D. Warren is the Managing Partner of Warren Law Group.
Before starting Warren Law Group, Chris earned a securities license with the National Association of Securities Dealers, Inc. (NASD), the predecessor of the Financial Industry Regulatory Authority, Inc. (FINRA). He was also a partner in several successful real estate investment and services businesses before graduating at the top of his class at New York Law School.
Chris’s industry and business background provide him with practical experience and valuable insight into these sectors. He can create pragmatic and practical strategies to service his clients with innovative sophistication with his decades of knowledge in financial services, securities, real estate, and business. The goal is simple: to advise on conduct consistent with the client’s goals and business strategies.
Chris litigates securities matters, business to business disputes, shareholder and partnership disputes, other issues in real estate securities, limited partnerships, or partnerships in state and federal court, as well as arbitration bodies such as FINRA, AAA, and JAMS. Many securities shareholder claims and commercial litigation cases involve business torts, breach of contract, fraudulent inducement and misrepresentation, business dissolution, breach of fiduciary duty claims, and accounting actions.
Chris has broad experience representing stockbrokers and their broker-dealers in FINRA arbitration and defending brokers and registered financial advisors in regulatory enforcement actions and investigations by the SEC and FINRA.
Typical broker and advisor matters include broker misconduct, securities fraud, negligence, breach of fiduciary duty, unsuitability claims, failure to supervise claims, unauthorized trading, forgivable loan (EFL), and promissory note defense.
Typical regulatory defense matters include FINRA OTR representation, FINRA 8210 compliance, AWC settlement negotiations, U4 and U5 expungement, unpaid bonus claims, Wells Calls for FINRA and SEC Enforcement matters, and SEC subpoena responses and strategies, as well as representation in response to State Regulators investigations for violations of “blue sky” securities laws.
Chris also represents private equity firms and startups looking to arbitrage contracts, raise capital or restructure debt through investments in equity, debt, or both. He provides practical and creative business solutions to commercial litigation matters, including business torts, breach of contract, business divorce, breach of fiduciary duty claims, accounting actions, commercial contract litigation, limited partnership shareholder litigation, and minority shareholder oppression matters.
Typical matters include shareholders seeking proper accounting in breach of fiduciary duty claims, dissolution, or “business divorce” proceedings, brokers recovering unpaid sales commissions, partnership disputes in closely held businesses, fraudulent inducement, and material breach of contract in private placement memorandum (PPM) litigation for private securities offerings.
Every client’s circumstances are unique; we tailor our approach to best fit their matters. Chris describes his style as fast-paced and direct, and he advocates fiercely for his clients and speaks with candor. Chris is passionate about his clients and their ongoing concerns and treats their issues as if they were his own.
JD, Business and Securities Law, cum laude, New York Law School, 2010-2013
Bar Admissions & Memberships
State of New York
State of New Jersey
Eastern District of New York
New Jersey District Court
Representative Matters Include:
- Represented a nationwide distribution and sales company in multi-jurisdiction securities fraud matter, recovering multiple millions of dollars in a settlement against a publicly traded company.
- Represented a financial services company in cross-border litigation, disputing a hundred million dollars in transactions.
- Represented financial services companies in defense of SEC investigations, Wells Calls, subpoenas, and enforcement proceedings.
- Represented registered advisors in on-the-record (OTR) proceedings, enforcement proceedings, and negotiation of reasonable settlement.
- Represented a claimant in a private arbitration of multi-national corporation for breach of fiduciary duty and fraudulent inducement of contract involving the transfer of stock and the sales and management of real estate in multiple countries.
- Represented shareholders defrauded by advisor fraudulently inducing investments in the private placement of holding company in a reverse-merger scheme of a fraudulent re-listed NASDAQ company.
- Represented Registered Investment Advisory firm in defense of claims brought against it by former advisors.
- Represented frozen-out minority LLC members of a closely held real estate development company seeking judicial dissolution and recovery of misappropriated assets, including theft of corporate opportunity claims.
- Represented a broker in defense of breach of contract and repayment of promissory notes in FINRA proceeding.
- Represented Registered Investment Advisory firm in the enforcement of restrictive covenants, solicitation of clients, and proselytizing of employees.
- Represented partner in a shareholder litigation matter of a private equity firm that was entitled to 33% of shares awarded as compensation to the firm for multiple millions of dollars.
- Represented 50% partner in law firm dissolution matter for the recovery of multiple millions for ongoing case valuation and interest in originated matters.
- Represented an equal owner of multiple investment contracts for real estate where the titleholder has intentionally defrauded and concealed that fraud against the investor in the multiple millions.
- Represented general agent of real estate investment company in litigation against preferred equity investor claiming breach of fiduciary duty, shareholder oppression, receivership, and accounting.
- Represented general agent of Office of Supervisory Jurisdiction in the recovery of promissory notes paid to brokers in fraudulent misrepresentation proceeding.
- Represented 50% owner of a Registered Investment Advisory firm in uncovering fraudulent conveyances and theft of corporate opportunities by the prior partner.
- Represented financial services employees in breach of contract claims, fraudulent inducement, and fraudulent misrepresentations against broker-dealers and financial institutions.
- Represented securities industry commentator in SLAPP suit, or strategic lawsuit against public participation, against broker-dealer regarding fraudulent penny stock trades and SEC filings.
- Represented CEO of a publicly traded company in short-swing profit litigation.
- Represented shareholder of a closely held real estate holding company in an accounting action to uncover CEO’s misconduct and misappropriation of company funds.
- Represented commercial tenants in summary proceedings, Yellowstone injunctions, and declaratory relief matters.
- Represented brokers and financial advisors in promissory notes and Forms U4 and U5 expungement matters.
- Represented brokers and brokerages for unpaid sales commissions and independent contractor agreement litigation.
- Represented hedge fund holding company and associated joint ventures in a professional malpractice action against a worldwide accounting firm for negligence and malfeasance.
- Represented 50% partner in business divorce dissolution proceedings, forensic accounting, valuation, and settlement negotiations.
- Represented individual public investors in FINRA arbitrations concerning claims for churning, unsuitability, unauthorized trading, and misrepresentation, and failure to supervise against brokers and broker-dealers. Represented real estate developers in construction litigation, access agreement negotiations, and breach of contract claims.